-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KIsOOZqY+tFiAQw4IyzVSLYkaezhKjOBzsPjDjmcZEEs9RbbeOQZq+yoTgN+YaqP 4Ijj9Z5d9m9qT5TRTJr4RQ== 0000909450-02-000051.txt : 20020424 0000909450-02-000051.hdr.sgml : 20020424 ACCESSION NUMBER: 0000909450-02-000051 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020331 FILED AS OF DATE: 20020424 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 IRS NUMBER: 770210467 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04761 FILM NUMBER: 02619477 BUSINESS ADDRESS: STREET 1: 50 OSGOOD PLACE PENTHOUSE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4159811039 MAIL ADDRESS: STREET 1: 50 OSGOOD PLACE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 FORMER COMPANY: FORMER CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT/GRUBER JON D ET AL DATE OF NAME CHANGE: 19951108 13F-HR 1 q10213fr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2002 Check here if Amendment: ___; Amendment Number: ___ This Amendment (Check only one.) ___ is a restatement. ___ adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Gruber & McBaine Capital Management, LLC Address: 50 Osgood Place, Penthouse__ San Francisco, CA 94133_____ Form 13F File Number: 28-3296________ The institutional investment manager filing this report and the person by whom it is signed hereby represent that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists and tables, are considered integral parts of this Form. Person Signing this Report on Behalf of Reporting Manager: Name: Elizabeth Giorgis____________ Title: administrator_______________ Phone: 415 981 1039_________________ Signature, Place and Date of Signing: _________________________ San Francisco, CA_ April 22, 2001 [Signature] [City, State] [Date] Report Type (Check only one.): _X_ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) ___ 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) ___ 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 29-________________ ________________________________________ [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: _____0_____ Form 13F Information Table Entry Total: _____258___ Form 13F Information Table Value Total: __1,056,209__ List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name NONE 28-___________ ___________________________ [Repeat as necessary.] NAME OF ISSUER TITLE OF CUSIP VALUE SHARES INV. OTHER AUTH CLASS X1000 DISC MGR Acambis common 004286100 2,348 51200 SOLE 2,348 Adaptec common 00651F108 1,203 90000 SOLE 1,203 Adelphia Communications common 006848105 1,490 100000 SOLE 1,490 Advisory Board common 00762W107 8,237 253300 SOLE 8,237 Align Technology common 016255101 2,661 502000 SOLE 2,661 Allegiance Telecommunicacommon 01747T102 894 298000 SOLE 894 Amkor Technology common 031652100 2,231 100000 SOLE 2,231 Apple Computer Inc. common 037833100 10,729 453280 SOLE 10,729 Applied Films common 038197109 1,107 45000 SOLE 1,107 Armor Holdings common 042260109 3,930 145000 SOLE 3,930 ArtiSoft common 04314L106 60 33500 SOLE 60 ArtiSoft Inc ser B Pref Prefer 04314L106 1,750 700000 SOLE 1,750 Barnes & Noble Inc. common 067774109 6,226 200900 SOLE 6,226 Benihana Inc common 082047200 2,281 111800 SOLE 2,281 Bitstream Inc common 091736108 3,730 1008200 SOLE 3,730 BJ Services common 055482103 11,892 345000 SOLE 11,892 Blue Martini Software common 095698106 728 513000 SOLE 728 Blue Rhino Corp common 095811105 3,553 393072 SOLE 3,553 Bombardier Inc class B common 097751200 7,339 815000 SOLE 7,339 Borland Software common 099849101 1,557 119700 SOLE 1,557 Brocade Communications Scommon 111621108 1,620 60000 SOLE 1,620 Bunge Ltd common G16962105 3,789 175000 SOLE 3,789 Caci International common 127190304 7,124 202900 SOLE 7,124 CAE Inc common 124765108 4,412 599900 SOLE 4,412 Career Education common 141665109 4,392 110900 SOLE 4,392 Caremark Rx Inc common 141705103 7,269 372790 SOLE 7,269 Cedar Fair common 150185106 1,177 49500 SOLE 1,177 Celestica Company common 15101Q108 2,176 60000 SOLE 2,176 Centillium Communicationcommon 152319109 9,243 763900 SOLE 9,243 Charles River Assoc common 159852102 3,056 203077 SOLE 3,056 Chiquita Banana common 170032809 578 35000 SOLE 578 Clickaction Inc common 18681E107 1,826 1472800 SOLE 1,826 Coach Inc common 189754104 8,509 167800 SOLE 8,509 Cognos Inc common 19244C109 1,334 48600 SOLE 1,334 Coherent Inc. common 192479103 1,516 44720 SOLE 1,516 Computer Associates common 204912109 4,242 193800 SOLE 4,242 Corporate Executive Boarcommon 21988R102 15,790 420950 SOLE 15,790 CoStar Group common 22160N109 14,188 623384 SOLE 14,188 Cross Media Marketing Cocommon 22754R201 8,792 676328 SOLE 8,792 Cuisine Solutions common 229904107 403 1120457 SOLE 403 Daou Systems common 237015102 772 728000 SOLE 772 DHB Industries Inc common 23321E103 1,024 152000 SOLE 1,024 Digimarc Corp common 253807101 13,182 673600 SOLE 13,182 Discovery Partners Intl common 254675101 2,023 273400 SOLE 2,023 Divine Inc common 255402109 100 200000 SOLE 100 Drexler Technology Corp common 261876106 1,400 62250 SOLE 1,400 Eastman Chemical common 277432100 3,415 70000 SOLE 3,415 EB2B Commerce Inc ser B Prefer 26824R109 10 10000 SOLE 10 Edison Schools common 281033100 18,651 1341800 SOLE 18,651 EMC Corp. common 268648102 2,026 170000 SOLE 2,026 Empyrean Biosciences common 29245E103 31 1250000 SOLE 31 Energy Savings common 292717105 2,673 175000 SOLE 2,673 Englehard Corp. common 292845104 931 30000 SOLE 931 Ensco Intl Inc. common 26874Q100 15,974 530000 SOLE 15,974 Enwisen.com Inc common 29410M104 13 200000 SOLE 13 Enwisen.com Inc ser A pfPrefer 29410M104 100 909091 SOLE 100 Epiphany common 26881V100 3,712 491000 SOLE 3,712 EPlus common 294268107 3,340 352000 SOLE 3,340 Equity Marketing common 294724109 3,736 303700 SOLE 3,736 Ethan Allen Interiors common 297602104 16,613 436500 SOLE 16,613 Euronet Worldwide Inc common 298736109 5,208 306325 SOLE 5,208 Excelon Corp common 300691102 1,881 1229400 SOLE 1,881 Expedia Inc common 302125109 7,033 100700 SOLE 7,033 Exult Inc common 302284104 4,109 376600 SOLE 4,109 Factual Data Corp common 303094106 3,506 438200 SOLE 3,506 Film Roman common 317234102 207 939500 SOLE 207 Firepond Inc common 318224102 663 603000 SOLE 663 Flextronics common Y2573F102 1,825 100000 SOLE 1,825 FMC Corp. common 302491303 3,563 85000 SOLE 3,563 Ford Motor Co common 345370860 8,987 545000 SOLE 8,987 Forgent Networks common 34629U103 469 161600 SOLE 469 Four Season's Hotels common 35100E104 3,207 60185 SOLE 3,207 Freemarket common 356602102 698 30400 SOLE 698 Frequency Electronics common 358010106 1,841 141600 SOLE 1,841 Fresh America common 35803R105 170 942400 SOLE 170 Garden Burger common 365476100 1,522 1383400 SOLE 1,522 Garden Burger Ccvt prf Prefer 365476100 75 68000 SOLE 75 Garden Burger Dcvt prf Prefer 365476100 13 12000 SOLE 13 Gemplus International common 36866Y102 1,832 510400 SOLE 1,832 General Dynamics common 369550108 2,819 30000 SOLE 2,819 General Maritime common Y2692M103 1,998 166500 SOLE 1,998 Gladstone Capital common 376535100 6,954 390700 SOLE 6,954 Global Payments common 37940X102 8,805 240250 SOLE 8,805 Granite Construction common 387328107 6,906 280600 SOLE 6,906 Harmonic Inc common 413160102 2,890 249100 SOLE 2,890 Harris Corp. common 413875105 5,566 155000 SOLE 5,566 Health Net Inc common 42222G108 5,480 199700 SOLE 5,480 Herley Industries common 427398102 6,074 303700 SOLE 6,074 Hibernia Foods PLC ADR common 428660104 15,350 2879869 SOLE 15,350 Hollywood Media common 436233100 4,277 855358 SOLE 4,277 Hotel Reservations Netwocommon 441451101 5,922 100500 SOLE 5,922 Hypercom Corp common 44913M105 1,500 300000 SOLE 1,500 IBIS Technology common 450909106 515 35000 SOLE 515 IDEC Pharma. common 449370105 5,787 90000 SOLE 5,787 Infinium Software common 45662Y109 2,098 559400 SOLE 2,098 Insignia Solutions common 45766J107 1,029 472600 SOLE 1,029 Insituform Tech common 457667103 23,109 914500 SOLE 23,109 Integramed America common 45810N302 3,218 527600 SOLE 3,218 Intercept Inc common 45845L107 11,303 311800 SOLE 11,303 Intergrated Circuit Sys common 45811K208 5,184 254100 SOLE 5,184 Intermune Pharmaceuticalcommon 45884X103 2,616 87000 SOLE 2,616 Interplay Ent Corp common 460615107 173 600000 SOLE 173 Interwoven Inc common 46114T102 1,973 394500 SOLE 1,973 Intrado Inc common 46117A100 2,615 120000 SOLE 2,615 Intraware common 46118M103 992 537100 SOLE 992 Intuit Inc common 461202103 11,396 297075 SOLE 11,396 Invitrogen Corp common 46185R100 5,834 169980 SOLE 5,834 Invivo Corp. common 461858102 3,824 317600 SOLE 3,824 Iridex common 462684101 2,360 505400 SOLE 2,360 Isolyser Inc. common 464888106 1,829 618000 SOLE 1,829 Jacobs Engineering common 469814107 6,830 95800 SOLE 6,830 JD Edwards and Co. common 281667105 1,804 100000 SOLE 1,804 Kana Software common 483600102 8,826 505350 SOLE 8,826 Kenneth Cole Productionscommon 193294105 5,782 288100 SOLE 5,782 Korn Ferry Int'l common 500643200 278 27900 SOLE 278 Kulicke & Soffa common 501242101 2,247 108000 SOLE 2,247 Kushner-Locke common 501337406 9 2880900 SOLE 9 L3 Communications common 502424104 20,283 181100 SOLE 20,283 Lam Research common 512807108 880 30000 SOLE 880 Leap Wireless common 521863100 1,351 160500 SOLE 1,351 Lexar Media common 52886P104 7,274 2693981 SOLE 7,274 Lockeed Martin common 539830109 17,746 308200 SOLE 17,746 Louisiana Pacific Corp common 546347105 2,496 232400 SOLE 2,496 LTX Corp. common 502392103 2,480 91200 SOLE 2,480 Lucent Tech common 549463107 1,135 240000 SOLE 1,135 Lyondell Chemical Co. common 552078107 3,322 200000 SOLE 3,322 Macromedia Inc. common 556100105 5,105 250000 SOLE 5,105 Man Tech International common 564563104 8,296 446000 SOLE 8,296 Manugistics Group common 565011103 2,041 95000 SOLE 2,041 Marsh & McLennan common 571748102 3,399 30150 SOLE 3,399 Masco Corp. common 574599106 2,196 80000 SOLE 2,196 Matria Healthcare common 576817209 15,133 624045 SOLE 15,133 Maxxcom Inc common 57777W100 377 400000 SOLE 377 MDC Corp common 55267W309 10,119 2558939 SOLE 10,119 MDU Comm Int'l Inc common 582828109 386 695500 SOLE 386 Medicalogic Medscape Inccommon 584642102 532 2346667 SOLE 532 MKTG Services Inc common 570907105 743 406081 SOLE 743 Modtech Holdings common 60783C100 28,119 2570299 SOLE 28,119 Modtech Holdings Ser A Prefer 60783C100 739 67518 SOLE 739 Monolithic System Technocommon 609842109 1,898 165000 SOLE 1,898 Monterey Pasta common 612570101 21,378 2529900 SOLE 21,378 Natrol Inc common 638789107 1,689 965050 SOLE 1,689 NCO Portfolio Mgmt Inc common 62885J108 2,061 317000 SOLE 2,061 Net2Phone INC. common 64108N106 1,313 258400 SOLE 1,313 Netcentives common 64108P101 3 2057300 SOLE 3 NetIQ Corp common 64115P102 2,868 131520 SOLE 2,868 Netopia Inc common 64114K104 2,038 399600 SOLE 2,038 Network Appliance common 64120L104 1,628 79900 SOLE 1,628 Networks Associates common 640938106 1,452 60000 SOLE 1,452 Nike common 654106103 1,200 20000 SOLE 1,200 Nintendo Co common 654445105 1,430 9800 SOLE 1,430 Noble Drilling common 655042109 14,714 355500 SOLE 14,714 Northrop common 666807102 4,296 38000 SOLE 4,296 Novellus Systems common 670008101 1,354 25000 SOLE 1,354 NWH Inc common 62946E106 1,925 151000 SOLE 1,925 O2 Micro International common G6797E106 943 54000 SOLE 943 Ocean Energy common 67481E106 3,166 160000 SOLE 3,166 Olin Corp. common 680665205 2,764 147000 SOLE 2,764 Olympia Energy Inc common 68147L104 477 200000 SOLE 477 Omnicom Group Inc common 681919106 8,043 85200 SOLE 8,043 One Eight Hundred Flowercommon 68243Q106 1,777 130500 SOLE 1,777 OneSource Information Secommon 68272J106 2,757 378200 SOLE 2,757 OnSite Energy common 68284P108 108 1548972 SOLE 108 OnSite Energy Corp. ser Prefer 68284P108 225 22500 SOLE 225 Onyx Software common 683402101 912 182800 SOLE 912 Opinion Research Corp common 683755102 4,775 795800 SOLE 4,775 Orthologic Corp common 68750J107 6,844 1226600 SOLE 6,844 OSI Systems common 671044105 2,117 84000 SOLE 2,117 Overture Services common 69039R100 1,679 60150 SOLE 1,679 Pacific Capital Bancorp common 69404P101 3,785 122700 SOLE 3,785 P-Com Inc common 693262107 1,135 5863470 SOLE 1,135 Peoplesoft Inc. common 712713106 6,722 184000 SOLE 6,722 Per-Se Technologies Inc common 713569309 3,502 289906 SOLE 3,502 Pet Smart Inc common 716768106 2,746 202500 SOLE 2,746 Phoenix Technology common 719153108 4,211 308500 SOLE 4,211 Photon Dynamics common 719364101 3,359 66000 SOLE 3,359 Pinnacle Systems common 723481107 14,364 1802200 SOLE 14,364 Pittsburgh Pa Pub Pkg Cvt Bnd 725259GR 10 10000 SOLE 10 PMC Sierra common 69344F106 651 40000 SOLE 651 PMR Corp common 693451106 1,722 816047 SOLE 1,722 Polycom common 73172K104 3,887 158000 SOLE 3,887 Polymedica common 731738100 26,738 1050600 SOLE 26,738 Polyone Corp common 73179P106 2,745 225000 SOLE 2,745 Power Integrations common 739276103 1,524 80000 SOLE 1,524 Pride Intl common 74153Q102 1,590 100000 SOLE 1,590 Proxim common 744283102 2,299 957828 SOLE 2,299 Pumatech common 745887109 1,755 1319600 SOLE 1,755 QuadraMed Corp common 74730W101 3,998 449200 SOLE 3,998 Quovadx Inc common 74913K106 6,728 809584 SOLE 6,728 Raindance Communication common 75086X106 1,571 450200 SOLE 1,571 Raytheon Co. common 755111507 13,764 335300 SOLE 13,764 RealNetworks Inc common 75605L104 211 30000 SOLE 211 Red Hat Inc common 756577102 9,952 1743300 SOLE 9,952 Redback Networks common 757209101 1,516 446000 SOLE 1,516 Redwood Trust common 758075402 4,121 151350 SOLE 4,121 Research in Motion common 760975102 13,607 490000 SOLE 13,607 Right Start common 766574206 979 135000 SOLE 979 Rite Aid common 767754104 2,790 806400 SOLE 2,790 Robotic Visions Systems common 771074101 1,443 1192900 SOLE 1,443 Roxio Inc common 780008108 3,006 132500 SOLE 3,006 RPM Inc common 749685103 1,322 85000 SOLE 1,322 S 1 Corporation common 78463B101 3,099 200700 SOLE 3,099 Safeguard Scientifics Incommon 786449108 6,287 2088800 SOLE 6,287 Sangamo Biosciences Inc common 800677106 1,617 175014 SOLE 1,617 Schwab common 808513105 2,356 180000 SOLE 2,356 Sciquest Inc common 80908Q107 1,183 664700 SOLE 1,183 Seachange Intl common 811699107 380 25000 SOLE 380 Select Medical Corp common 816196109 9,950 621500 SOLE 9,950 Sepracor common 817315104 1,106 57000 SOLE 1,106 Silicon Image Inc common 82705T102 828 97000 SOLE 828 Sino Forest CL A common 82934H101 1,773 2770400 SOLE 1,773 Sirit Technology common 82966K105 6 186000 SOLE 6 Smartforce ADR common 83170A206 893 85000 SOLE 893 Softnet Systems common 833964100 422 192000 SOLE 422 Sonex Com common 835448101 145 1248946 SOLE 145 Sonex Pfd Prefer 835448101 621 725000 SOLE 621 Sony Corp common 835699307 4,477 86600 SOLE 4,477 Spectrian Corp. common 847608106 1,718 120000 SOLE 1,718 Sprint Corp PCS Group common 852061506 2,790 271150 SOLE 2,790 Stake Technology common 852559103 10,405 3882300 SOLE 10,405 Stamps.com Inc common 852857101 11,029 2467300 SOLE 11,029 Steiner Leisure common P8744Y102 2,385 110600 SOLE 2,385 StockerYale Inc common 86126T203 304 42900 SOLE 304 Student Advantage Inc common 86386Q105 711 749700 SOLE 711 Superior Energy Servicescommon 868157108 3,098 308000 SOLE 3,098 Synbiotics Corp. common 871566105 210 874200 SOLE 210 Tanknology common 87583E101 4 3862335 SOLE 4 Tarantella Inc common 876090101 775 1491000 SOLE 775 Target common 87612E106 3,234 75000 SOLE 3,234 Taser Intl common 87651B104 2,477 129000 SOLE 2,477 Tekelec common 879101103 7,079 617700 SOLE 7,079 Texas Instruments Inc common 882508104 6,455 195000 SOLE 6,455 Ticketmaster Online common 88633P203 4,767 161150 SOLE 4,767 Tidel Tech common 886368109 404 673800 SOLE 404 Todd's Group common T93619103 1,674 34875 SOLE 1,674 Tricom common 89612A100 1,089 311095 SOLE 1,089 Tsakos Energy Navigationcommon G9108L108 4,188 275000 SOLE 4,188 United Healthcare Corp. common 91324P102 7,703 100800 SOLE 7,703 United Online Inc common 911268100 5,772 671200 SOLE 5,772 US Concrete common 90333L102 1,028 157000 SOLE 1,028 US Search.com Inc common 903404101 1,694 1540300 SOLE 1,694 USA Networks common 902984103 6,070 191050 SOLE 6,070 Verisity Inc common M97385112 4,512 201151 SOLE 4,512 VI Technologies common 917920100 2,638 508300 SOLE 2,638 Vishay Intertech common 928298108 3,051 150000 SOLE 3,051 Visteon common 92839U107 5,296 320000 SOLE 5,296 Vitesse common 928497106 6,246 637300 SOLE 6,246 Walmart common 931142103 2,822 46050 SOLE 2,822 Wave Systems common 943526103 122 50000 SOLE 122 Wave.com common 943531103 934 35250 SOLE 934 Wellpoint Health common 94973H108 8,939 140400 SOLE 8,939 West Marine common 954235107 2,273 112500 SOLE 2,273 Western Digital Corp. common 958102105 5,056 811500 SOLE 5,056 Western Garnet Co. common 95825D105 1,477 905500 SOLE 1,477 Xilinx common 989597109 7,720 193669 SOLE 7,720 XM Satellite Radio Holdicommon 983759101 2,631 191100 SOLE 2,631 Zindart LTD ADR's common 989597109 2,192 1217700 SOLE 2,192 Z-Tel Technologies common 988792107 266 130500 SOLE 266
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